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Registered Investment Advisor Services
At Partnervest, we design and implement customized solutions that fit the way Registered Investment Advisors do business. Our staff of experienced professionals supports you around the clock with a full range of operational and compliance services, so you can focus on providing outstanding service to your clients. With Partnervest, you can maintain your independence while enjoying the benefits that come from being a part of a larger enterprise. The bottom line is that our support services save you both time and money. We offer the Registered Investment Advisor all of the Independent Financial Planner Services, plus the following additional services:
- Customized Quarterly Statement and Performance Reporting: Customized reporting with pie charts, bar charts and line graphs that can include portfolio holdings and transactions, current versus target allocations, portfolio change and summary, realized and unrealized gains and losses, benchmark comparisons, performance by asset class and others. AIMR and SEC compliant reports are available if needed.
- Registered Investment Advisor Branding: To the fullest extent regulatory allowable all reports, statements, and client communications are branded with your name, logo, and identity.
- WebIARD Service Bureau: Preparation and submission of WebIARD filings.
- Management and Operation Reports: Comprehensive management reports designed to provide you with detailed information needed to manage your Advisory Program, Advisory Representatives, Advisory Clients, and to enables an efficient overall compliance program including meeting the books and record keeping requirement.
- Online Advisor Rep Access and Interface: Provides Registered Investment Advisors with Internet Browser based access to their reports and client and account information.
- Online Client Account Access: Provides clients with Advisor controlled Internet-based access to their accounts. Clients have the ability to see reports, positions, transactions and performance for any date range.
- Automated Trading and Portfolio Balancing: Automated trade order management, asset allocation, and automatic rebalancing.
- Client Billing Services: Comprehensive Registered Investment Advisor branded billing services, which include calculations, billing, and collection via a private Advisor LockBox and Bank account.
- Data Conversion: We will convert the data from your existing portfolio management system to our cutting edge Techfi platform.
- Custodian Interface and Reconciliation: We will establish links to your current custodian and interface with them on a daily basis to download client information and reconcile any discrepancies.
- Personalized Quarterly Client Change In Status Notification Letter: Regulatory required client correspondence to help meet your duty of suitability and providing the advice your client needs.
- ADV Amendment and Filing: We will update and file all parts of your Form ADV.
- Regulatory Liaison: We will interface with regulatory agencies and respond to any inquiries as it relates to your filing to maintain your good standing.
- Compliance Manual and Operations Procedures Creation, Review and Update: We will create or review and revise your existing compliance manual and operational procedures to ensure they are updated and consistent with your ADV and business practices.
- Advertising and Brochure Review: We will review advertising, newsletters, and brochures on an ongoing basis.
- ADV Annual Amendment: We will annually amend and file your ADV as required by regulation.
- ADV Withdrawal: If needed, we will withdraw your RIA as a registered entity.
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